(1) This Policy establishes an internal reporting system for Staff members and Affiliates to report serious wrongdoing without fear of reprisal. The Policy identifies personnel who Staff members and Affiliates of the University can report serious wrongdoing to, the types of wrongdoing that should be reported, and the University’s mechanisms for dealing with reports of serious wrongdoing. (2) This Policy has been developed in line with the Public Interest Disclosures Act 2022 (PID Act) and the NSW Ombudsman Guidelines. (3) This Policy applies to all Staff members and Affiliates of the University. (4) Under the PID Act, a public interest disclosure can be made by a public official, as defined by the Act and which includes Staff members and Affiliates of the University. It does not include students or members of the public – refer to the Complaints Resolution Policy for Students and Members of the Public and the Complaints Resolution Procedure for Students and Members of the Public. (5) There are three types of public interest disclosures in the PID Act: Voluntary, Mandatory and Witness. This Policy primarily deals with Voluntary public interest disclosures. (6) The University is committed to the highest standards in governance, ethical behaviour and accountable conduct, and does not tolerate serious wrongdoing in the performance of its functions. (7) The University recognises the value and importance of contributions of Staff to promote an ethical, accountable culture and the integrity of administrative and management practices. (8) The University is committed to creating a culture where Staff members and Affiliates are encouraged to, and feel safe to speak up, when they become aware of serious wrongdoing. (9) All Staff members and Affiliates of the University have a responsibility to act in the public interest and speak up when they become aware of serious wrongdoing or other misconduct alleged or suspected to have been committed at the University. (10) The University takes reports of serious wrongdoing seriously and will act promptly and fairly to investigate reported wrongdoing. (11) The University will take all reasonable and necessary steps to treat reports with confidentiality and provide protection to Staff who make a report of serious wrongdoing from Detrimental Action. (12) Staff members and Affiliates are encouraged to report all serious wrongdoing they become aware of, regardless of whether they think it constitutes a public interest disclosure under the PID Act. (13) Staff members and Affiliates should report any serious wrongdoing or other misconduct alleged or suspected to have been committed within the University. (14) The following categories of serious wrongdoing, as defined in Section 5, will be dealt with by the University as a public interest disclosure under the PID Act: (15) All other wrongdoing should be reported to a manager/supervisor or a relevant officer, to be dealt with in line with the relevant policies. This might include: (16) The University will take all reports seriously and will assess a report to ensure it is managed appropriately under the PID Act, or if it is not a public interest disclosure, in line with other relevant policies and procedures of the University. (17) All reports will be promptly and thoroughly assessed to determine what action will be taken to deal with the report and whether the report will be treated as a public interest disclosure. (18) Under the PID Act, the University has the following notification obligations when a public interest disclosure is made: (19) Procedures for these notifications are outlined in Section 3. (20) The University will take all reasonable steps to keep the identity of the Staff member or Affiliate who made a report, and the fact that they have reported serious wrongdoing, confidential. Where practical and reasonable, the University will not disclose this information to any person except for those responsible for managing the report. (21) The identity of the Staff member or Affiliate making the report may be disclosed to the following people responsible for dealing with it: (22) If the identity of the Staff member or Affiliate making the report needs to be disclosed beyond those listed in clause 21 above, the University will discuss this with them in advance, and if required will develop a plan to support and protect them from any potential reprisal. (23) Staff members or Affiliates who make a report, and those who participate in the investigation, including any witnesses, also have an obligation to maintain confidentiality, and must not disclose information about the process or allegations to any person except for those responsible for managing the report. (24) The University will take all reasonable and necessary steps to provide protection to Staff members or Affiliates who make a public interest disclosure from suffering any Detrimental Action in reprisal for the making of the reports. (25) Under the PID Act there are penalties for Detrimental Action to protect individuals who have made a public interest disclosure. A person found to have committed a reprisal offence may face criminal penalties in accordance with the PID Act. (26) Penalties also apply to cases where a person takes Detrimental Action against another because they believe or suspect the other person has made or may make a public interest disclosure, even if they did not. (27) Taking Detrimental Action in reprisal is a breach of the University’s Staff Code of Conduct, which may result in disciplinary action. (28) A Staff member or Affiliate who makes a public interest disclosure can still be subject to reasonable management action (such as ordinary performance reviews and performance management). Provided such action is not taken because of the public interest disclosure, it is not Detrimental Action under the PID Act. (29) Staff members and Affiliates may be subject to a duty of confidentiality that prevents them disclosing certain information that they obtain or become aware of at work. Sometimes, in order to make a public interest disclosure, there will need to be a breach or disregard of such confidentiality duties. (30) If that happens, the Staff member or Affiliate will not incur civil or criminal liability if the person breaches a duty of confidentiality while making a public interest disclosure. This means that legal action cannot be taken against a person for: (31) It is a criminal offence under the PID Act to willfully make a false or misleading statement when reporting wrongdoing. (32) The University will not support Staff members or Affiliates who willfully make false or misleading reports. Such conduct may also be considered a breach of the University’s Staff Code of Conduct and may result in disciplinary action. (33) Staff members and Affiliates are encouraged to make a report of serious wrongdoing to their manager/supervisor, a Disclosure Officer, or the Disclosure Coordinator. Contact details are provided in Schedule A. (34) The report can be made in writing or verbally. A report in writing is preferable as it can assist to avoid any confusion or misinterpretation. (35) If a report is made verbally, the person receiving the report will make a comprehensive record of the report and ask the Staff member or Affiliate making the report to sign this record. The reporting Staff member or Affiliate should keep a copy of this record. (36) The report should include: (37) There are some situations in which a Staff member or Affiliate may not want to identify themselves when they make a report. Although anonymous reports will be considered, it is preferable if the Staff member or Affiliate discloses their identity. This allows the University to take reasonable steps to provide the individual with the necessary support and protection from any potential reprisals, as well as report on the assessment of the public interest disclosure and, if applicable, the outcome of an investigation. (38) Where a report is not directly made to the Disclosure Coordinator, the manager/supervisor or Disclosure Officer who received the report will notify the Disclosure Coordinator that a report of serious wrongdoing has been made. In some instances, a manager/supervisor may notify a Disclosure Officer in the first instance, in which case the Disclosure Officer will refer the report to the Disclosure Coordinator. (39) In referring a report to the Disclosure Coordinator, the manager/supervisor or Disclosure Officer will provide details of the report in writing to the Disclosure Coordinator within five (5) working days after receiving it. The details should include: (40) On receipt of a written report of serious wrongdoing, the Disclosure Coordinator will contact the Staff member or Affiliate who made the report to confirm that the report has been received and advise whether it is possible to keep the report confidential. (41) The Disclosure Coordinator will determine whether the report is a public interest disclosure under the PID Act and may seek advice from the Office of General Counsel as appropriate. (42) If a report is assessed to be a public interest disclosure, the Disclosure Coordinator will provide the reporting Staff member or Affiliate with a written acknowledgment which will include: (43) Under the PID Act, the written acknowledgement must be provided within 45 business days from the date the report was received. The Disclosure Coordinator will aim to provide the acknowledgement within ten (10) business days. (44) If the report is not a public interest disclosure, the Disclosure Coordinator will advise the Staff member or Affiliate that the PID Act does not apply to the report and how the University will deal with the concern/s raised in the report (for example, refer the Staff member or Affiliate to the Complaint Management Procedure for Staff). (45) If the Staff member or Affiliate disagrees with the University’s assessment that a report is not a public interest disclosure, they can raise it with the Disclosure Coordinator and request an internal review, or request that the matter be conciliated. (46) Where the University determines that the report is a public interest disclosure, the University will investigate the matter to make findings about whether serious wrongdoing disclosed in a public interest disclosure report occurred. (47) The Vice-President, Professional Services, as the University’s Disclosure Coordinator per Schedule A, will usually have responsibility for managing the investigation of the report in accordance with this Policy. (48) There may be occasions, for example due to a conflict of interest or other circumstances, when it would be appropriate for someone other than the Vice-President, Professional Services to act as the Disclosure Coordinator and have responsibility for the investigation. Where this occurs, the Staff member or Affiliate making the disclosure will be advised. (49) If a report of serious wrongdoing relates to the Vice-President, Professional Services, the Vice-Chancellor will act as the Disclosure Coordinator and conduct the investigation or nominate an appropriate officer or senior Staff member to act as the Disclosure Coordinator and conduct the investigation. (50) If a report of serious wrongdoing relates to the Vice-Chancellor, the Chancellor will act as the Disclosure Coordinator and conduct the investigation or nominate an appropriate officer or senior Staff member to act as the Disclosure Coordinator and conduct the investigation. (51) In conducting the investigation, subject to the confidentiality obligations imposed by the Policy and the PID Act, the Disclosure Coordinator may seek assistance from the Office of General Counsel, a relevant Disclosure Officer or a third party as required. (52) During the investigation, the Disclosure Coordinator, or their delegate, may contact relevant parties to clarify and/or gather facts and to seek expert or legal advice. (53) While the investigation is being undertaken, the Disclosure Coordinator will keep the reporting Staff member or Affiliate informed by providing updates at a minimum every three (3) months. This may include: (54) There may be circumstances where an investigation is not warranted (for example, if the conduct has previously been investigated), in which case, the Disclosure Coordinator will advise the reporting Staff member or Affiliate of this outcome, including the reasons for ceasing investigation of the matter as a public interest disclosure. (55) The Disclosure Coordinator will notify the Staff member or Affiliate who makes a public interest disclosure within six (6) months of the report being made of: (56) Following investigation, if serious wrongdoing is determined, the University will undertake appropriate corrective action in accordance with the University’s rules, policies and procedures and any reporting requirements. (57) Such corrective action may include: (58) The Disclosure Coordinator will refer any evidence of an offence under section 33 of the PID Act to the NSW Independent Commission Against Corruption (ICAC) or the NSW Police. (59) The Disclosure Coordinator will advise the reporting Staff member or Affiliate of the outcome of the investigation, including: (60) There may be some details about the investigation outcome and the Corrective Action that cannot be revealed for legal or other reasons. The University will always balance the right of a person who makes a report to know the outcome of that report, with other legal obligations of the University. (61) If a Staff member or Affiliate believe that Detrimental Action has been or is being taken against them or someone else in reprisal for reporting a serious wrongdoing, they should report this to their manager/supervisor, a Disclosure Officer or the Disclosures Coordinator immediately. (62) A manager/supervisor or Disclosure Officer who has been notified of an allegation of Detrimental Action or who suspects reprisal as a result of a report of serious wrongdoing, must notify the Disclosures Coordinator. (63) The Disclosure Coordinator will assess the allegation of reprisal and determine whether this will be treated as a separate public interest disclosure for investigation and corrective action in accordance with this Policy, or if other action will be taken. (64) If it is established that reprisal is occurring against a Staff member or Affiliate who has made a report of suspected serious wrongdoing, the University will: (65) The University will keep the Staff member or Affiliate who allege reprisal informed of the progress and outcome of any investigation or other action taken in response to the reprisal allegation. (66) If a Staff member or Affiliate, who has made an allegation of Detrimental Action as a result of reporting serious wrongdoing, feels that this is not being dealt with effectively by the University, they may contact the Auditor General NSW, the NSW Ombudsman, ICAC or the Information and Privacy Commission NSW depending on the type of serious wrongdoing reported. (67) The University is committed to ensuring that Staff who are the subject of a report of serious wrongdoing are treated fairly and reasonably. This includes keeping the identity of any person who is the subject of a report confidential where this is practical and appropriate. (68) The University will ensure that the subject of the report is advised of the allegation/s made against them at an appropriate time and before any adverse findings are made. The subject of the report will be: (69) Where the reported allegation/s against the Staff member are clearly wrong, or have been investigated and are unsubstantiated, the University will support the subject of the report. The fact of the allegations and any investigation will be kept confidential unless otherwise agreed to by the subject of the report. (70) The Disclosure Coordinator will provide an annual return to the NSW Ombudsman in relation to each period of 12 months ending on 30 June (the return period). (71) Unless the NSW Ombudsman approves a later time, the annual return must be provided within 30 days after the end of the return period to which it relates. (72) The annual return will include: (73) Records of all public disclosure reports and associated information must be kept in accordance with the University’s Records and Information Management Policy. (74) The University’s annual report of public interest disclosures to the NSW Ombudsman will be submitted to the Audit and Risk Committee of Council at its next scheduled meeting following submission of the annual report. (75) The Vice-President, Professional Services is responsible for monitoring the implementation and effectiveness of the Policy. (76) Compliance with the PID Act is monitored through the University’s compliance management framework, which includes the reporting of any breaches of the Act and an annual attestation of compliance by the Obligation Owner. (77) The Vice-Chancellor is responsible for: (78) The Disclosure Coordinator is responsible for: (79) Disclosure Officers are responsible for: (80) Managers/Supervisors are responsible for: (81) All Staff and Affiliates are responsible for: (82) Nil. (83) The following definitions apply for the purpose of this Policy:Public Interest Disclosure Policy
Section 1 - Purpose
Scope
Section 2 - Policy
Principles
Serious wrongdoing
Notification requirements
Confidentiality
Protection against Detrimental Action in reprisal
Immunity from civil and criminal liability
Sanctions for making false or misleading statements
Section 3 - Procedures
Reporting serious wrongdoing
Notifying the Disclosure Coordinator of a report
Preliminary Assessment
Investigation
Corrective action
Protection against Detrimental Action in reprisal
Support for Staff who are the subject of a report
Reporting obligations and record keeping
Compliance with the PID Act
Roles and key responsibilities
Top of PageSection 4 - Guidelines
Section 5 - Definitions
Schedule A
Position
Role under PID policy
Name and contact details
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Vice-President, Professional Services
Disclosures Coordinator
Ms Nicole Gower
(02) 98509769
Vice-President, Finance and Resources
Disclosures Officer
Mr Robin Payne
Chief People Officer
Disclosures Officer
Mr David Ward
Vice-Chancellor
Principal Disclosures Officer
Professor Bruce Dowton
Chancellor
Disclosures Officer only for reports relating to the Vice-Chancellor
Dr Martin Parkinson